Outcome details

Decision details

Mr Hoffman’s practising certificate for 2017/2018 has been granted subject to the following conditions:

Mr Hoffman is not a sole manager or sole owner of any authorised body.

Mr Hoffman may not act as a Compliance Officer for Legal Practice (COLP) or Compliance Officer for Finance and Administration (COFA) for any authorised body.

In these conditions the definitions are as defined in the SRA Handbook Glossary 2012.

Reasons/basis

The above conditions are considered to be necessary in the public interest and reasonable and proportionate having regard to the purposes set out in Regulation 7 of the SRA Practising Regulations 2011 and the regulatory objectives and principles governing regulatory activities as contained in Section 28 of the Legal Services Act 2007.

Outcome details

Decision details

His practising certificate for 2016/2017 is subject to the following conditions which are necessary, reasonable and proportionate in the public interest:

Mr Hoffman is not a sole manger or sole owner of any authorised body.

Mr Hoffman may not act as a Compliance Officer for Legal Practice (COLP) or Compliance Officer for Finance and Administration (COFA) for any authorised body.

In these conditions the definitions are as defined in the SRA Handbook Glossary 2012.

Reasons/basis

The above conditions are considered to be necessary in the public interest and reasonable and proportionate having regard to the purposes set out in Regulation 7 of the SRA Practising Regulations 2011 and the regulatory objectives and principles governing regulatory activities as contained in section 28 of the Legal Services Act 2007.

Outcome details

This outcome was reached by SRA decision.

Reasons/basis

Outcome of SDT Hearing

This notification relates to a Decision to prosecute before the Solicitors Disciplinary Tribunal. This is an independent Tribunal which reaches its own decision after considering all the evidence, including any evidence put forward by the Respondent. The Tribunal had certified that there was a case to answer.

The matter was heard on 7 and 8 December 2016.

Mr Hoffman was Fined £2,000 and be subject to the conditions set out below:

The Respondent may not:

i. Practise as a sole practitioner or sole manager or sole owner of an authorised or recognised body;

ii. Be a Compliance Officer for Legal Practice or a Compliance Officer for Finance and Administration;

There be liberty to either party to apply to the Tribunal to vary the conditions set out above.

Outcome details

Decision details

The practising certificate for Brian Hoffman is subject to the following conditions:

Mr Hoffman is not a sole manger or owner of an authorised body.

Mr Hoffman may not act as a Compliance Officer for Legal Practice (COLP) or Compliance Officer for Finance and Administration (COFA) for any authorised body.

Mr Hoffman is not a signatory to any client or office account and does not have the power to authorise payments or transfers from any client or office account.

In these conditions manager, client account and office account are as defined in the SRA Handbook Glossary 2012.

Mr Hoffman acted in a share capital purchase and sale on behalf of his client. There were also a number of SRA Accounts Rule breaches identified that were not related to this transaction. As a result on Mr Hoffman's conduct it is alleged that he acted in breach of rules detailed in the SRA Principles 2011, SRA Accounts Rules, SRA Authorisation Rules 2011 and SRA Code of Conduct 2011.

Reasons/basis

The above conditions are considered to be necessary in the public interest and reasonable and proportionate having regard to the purposes set out in Regulation 7 of the SRA Practising Regulations 2011 and the regulatory objectives and principles governing regulatory activities as contained in section 28 of the Legal Services Act 2007.